its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
from the provisions under Division 2: Debentures, Division 3: Issuance of Secured Debentures, Division 4: Register and Transferability, or Division 5: Disclosure of Information and Auditor of this
systems, if needed, to ensure availability as required under (3). Clause 13 An intermediary shall create an awareness of IT policy and related procedures among its employees and contractors who are engaged
to have rules that are suitable for the specific characteristics of the fund or clients, e.g., guaranteed fund, foreign investment fund, clients who are a provident fund, the Government Pension Fund
, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other means, as the case may be, in accordance with the investment policy, objectives of the
acknowledgement to create awareness of the IT security in the use of the cloud computing; (7) define clear roles and responsibilities of the cloud provider such as the data backup, the helpdesk services, the
Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the
which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities
the fund has a policy to borrow money from other parties or to create any encumbrances on the fund’s asset, the stipulations shall be prescribed as following rules;: (a) the money borrowing or creation
Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange